DFX Intelligence

S••••• R•••••• M••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

S••••• R•••••• M••••

Advisor at P•••••• C••••• S•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: P•••••• C••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 26, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• C••••• S•••••••• L••	Bd affiliated wealth	Jan 28, 2022	n/a	yes	LOUISVILLE, KY\|Charlotte, NC\|Appleton, WI\|Isle of Palms, SC	Current employment
A•••••• W••••• M••••••••• L••	Independent wealth	Jul 19, 2019	Dec 17, 2021	no	MOUNT PLEASANT, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• W••••• M••••••••• L••	P•••••• C••••• S•••••••• L••	Dec 17, 2021	Jan 28, 2022	42	Firm change	RIA to ibd
L•• F•••••••• L••	A•••••• W••••• M••••••••• L••	Apr 23, 2019	Jul 19, 2019

Relationships

Registered with (4)

→ P•••••• C••••• S•••••••• L••Registered adviserregistration: current employment
Jan 28, 2022 to presentfactForm ADV
→ A•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jul 19, 2019 to Dec 17, 2021factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 9, 2014 to Apr 23, 2019factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 19, 2006
Last observed: Sep 15, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.